Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW

Search Results

Showing 271 - 280 of 539 results for "Supervision"

ASIC accepts EU from Brisbane adviser

KARREN VERGARA  |  FRIDAY, 19 JAN 2018
... undertaking will see Wright undergo additional training in providing financial product advice and must adhere to strict supervision requirements for 12 months. His advice will be audited by an authorising licensee before it is provided to clients. The ...

APRA announces new executive general manager

EMMA RAPAPORT  |  MONDAY, 11 DEC 2017
... strategy/chief risk officer. Therese McCarthy-Hockey, formerly of Deutsche Bank London, will be responsible for the supervision framework and enterprise strategy and risk functions, covering both the design and maintenance of the processes and techniques ...

MyPlanner enters ASIC radar

JAMIE WILLIAMSON  |  WEDNESDAY, 6 DEC 2017
... steps to ensure that its representatives complied with financial services laws and did not carry out satisfactory supervision. The conditions also apply to MyPlanner Professional Services, a second AFSL that a large number of MyPlanner advisers and staff ...

Former CBA-aligned adviser banned for three years

ALEX BURKE  |  FRIDAY, 1 DEC 2017
... withdrawing funds from their self-managed superannuation fund when not permitted to under the Superannuation Industry (Supervision) Act 1993 or the SMSF's trust deed. He was also found to have recommended another client to use funds from his SMSF to ...

Meat industry fund welcomes new chief executive

JAMIE WILLIAMSON  |  FRIDAY, 1 DEC 2017
... shortly after it was acquired by IOOF. He has also held a range of roles with ANZ Wealth and is a former senior analyst, supervision with the Australian Prudential Regulation Authority. A spokesperson for AMIST Super said a decision would be made in ...

Centrepoint adviser banned

JAMIE WILLIAMSON  |  TUESDAY, 28 NOV 2017
... withdrawing funds from their self-managed superannuation fund when not permitted to under the Superannuation Industry (Supervision) Act 1993 or the SMSF's trust deed. He was also found to have recommended another client to use funds from his SMSF to ...

Jeremy Cooper explores the inconvenient truth of super

ALEX BURKE  |  MONDAY, 20 NOV 2017
... retirement income philosophy, they can work on the delivery." Cooper also suggested that the Superannuation Industry (Supervision) Act should be amended to "refer specifically to duties to retired members and their different income and risk management ...

Queensland adviser enters ASIC enforceable undertaking

JAMIE WILLIAMSON  |  WEDNESDAY, 15 NOV 2017
... five years. Following that, Hartmann will be permitted to re-enter the industry but will be required to adhere to supervision requirements imposed by the regulator. ASIC conducted an investigation into Hartmann's conduct between 1 January 2014 and 12 ...

Industry fund appoints governance and risk head

EMMA RAPAPORT  |  THURSDAY, 9 NOV 2017
... with APRA, Alford operated as a manager in the specialised institutions division, leading analysts in the prudential supervision and risk assessment of large and complex industry funds. In June, Equip confirmed its merger with the Rio Tinto Staff Superannuation ...

OneVue sells $2bn RE business

ALEX BURKE  |  WEDNESDAY, 25 OCT 2017
... an agreement to sell its responsible entity business, which currently represents about $2.3 billion in funds under supervision. The RE business covers 27 managed investment schemes and will be acquired by Equity Trustees for $3.5 million, funded from ...